Small Business Mentoring ProgramApplication and Pre-Qualification by abuzeryesilyurt

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         State of New York




                                Small Business Mentoring Program
                                 Application and Pre-Qualification1

                                         INSTRUCTION FORM


    GENERAL INFORMATION

    New York State has enacted legislation that authorizes Metropolitan Transportation Authority
    (“MTA”) and its operating agencies to establish a small business mentoring program (“SBMP”) for
    small construction industry contactors (annual revenues not exceeding $ 3 million averaged over 3
    years). A business admitted into the program will have the opportunity to learn how to do business
    with MTA and to compete for specific contracts that are designated for the SBMP. The MTA’s
    ultimate goal for the SBMP is to enlarge the pool of qualified contractors who can successfully
    compete as prime and subcontractors for projects outside of the program.

    The SBMP will have two tiers, Tier 1 participation will be for a maximum period of 4 years. The
    assistance available to Tier 1 program participants who are ready, willing and able to commit to the
    program, is designed to help a small business overcome obstacles frequently encountered in
    seeking opportunities to do business with MTA:

   A professional construction management firm, TDX Construction Corporation, is under contract
    with MTA to serve as the Construction Manager for the SBMP (“CM”). CM will assist participants
    to acquire the knowledge and experience needed to compete for MTA construction projects and to
    perform those projects safely, on time and within budget.

   Mandatory training for technical and business issues, both general and specific to the needs of the
    individual SBMP contractor.

   The opportunity to compete with other selected SBMP contractors for small construction projects
    (up to $ 1 million) that are specifically designated for the program.

   Access to SBMP small loan program provided by Carver National Bank to fund the start up costs of
    an SBMP contract awarded to an SBMP contractor. 

   For SBMP construction projects awarded to an SBMP contractor, MTA’s typical insurance
    requirements for a construction project will be met: i) through MTA’s Owner Controlled Insurance
    Program (“OCIP”) which will provide workers compensation and general liability insurance
    coverage for on-site construction activities; and ii) through insurance provided by the SBMP
    contractor, such as workers compensation and general liability insurance coverage for off-site
    activities, and automobile liability.  


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   An SBMP contractor competing for or awarded an SBMP contract will not be required to obtain a
    bid bond, payment bond or a performance bond from a surety company.

   Upon successful participation of the Tier 1 program, the opportunity to enter a Tier 2, or graduate
    program, defined elsewhere.

    A small business wishing to participate in the SBMP must apply for admission and be prequalified
    by MTA for specific construction industry trades. The application and prequalification process is
    designed to ensure that participants in the SBMP have a sufficient foundation of experience,
    finances, skills, and integrity to demonstrate that, with the assistance provided by the SBMP, they
    can perform small MTA projects safely, on time and within budget. A firm that is prequalified and
    accepted into the SBMP and meets the requirements for continued participation in the program, will
    be eligible to participate in the basic program (Tier I) for up to 4 years. Upon graduation from the
    program, the graduate firm will be eligible to participate for up to 2 years in the Tier 2 graduate
    program.

    When reviewing a firm’s application, MTA’s assessment will include a thorough evaluation of a
    variety of factors, taking into account that the firm is small and is seeking enrollment in the SBMP to
    gain the knowledge and experience it will need to do business with MTA. Factors evaluated will
    include:

     Experience generally and in specific construction industry trades.
     Quality and timeliness of past performance.
     Financial capability.
     Reliability and responsibility.
     Safety record.
    Licensing in the trade, where applicable.
     Certifications under State and Federal programs.
     Record of compliance with wage, hour and other State and Federal fair labor           sandards.
     Integrity of Key Persons, affiliates, current and past owners and principals.


    EQUAL OPPORUNITY

    All potentially qualified small construction businesses are encouraged to apply to the program,
    including small businesses that are currently participating in mentor programs operated by other
    public agencies, and small businesses that are certified for participation in state and federal
    MBE/WBE and DBE programs. MTA will afford all applicants with an equal opportunity for
    consideration, without discrimination because of race, creed, color, national origin, religion, sex,
    sexual orientation, age, disability or marital status.


    GENERAL INSTRUCTIONS

    Please refer to the attached application and prequalification form. The form should be completed
    on behalf of the Applicant Firm by an individual who is knowledgeable about the past and present

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operations of the firm and how to obtain any additional required information that is not within his or
her knowledge.

An Applicant Firm must answer each item on the application. If a particular question does not
apply, insert "Not Applicable" (or "NA") as the response. Answers must be legible, preferably typed
or, if hand written, printed in blue or black ink. If the space provided for an answer is insufficient, the
Applicant should write on the form in the space for its answer “See Attached” and, provide its
answer on a separate sheet of 8-1/2 X 11 paper, which should be attached to the application. The
Applicant’s name and the number for the item answered should be included at the top of the sheet
of paper.

MTA reserves the right to request clarification, additional information and/or additional
documentation from the Applicant Firm. By completing and submitting the application, the
Applicant authorizes MTA and its Construction Manager, in connection with the evaluation of the
Applicant, and the conduct of the SBMP if the Applicant is admitted into the program and
prequalified, to conduct and update a background investigation of the firm including financial, credit,
and performance history and integrity, and verification of the information provided.

An incomplete application will be rejected and returned to the applicant and, if the applicable
submission deadline has not passed, for completion by the applicable deadline.

The Applicant Firm must send one signed and notarized original and one copy of the completed
Application Form together with other attachments to the Construction Manager:

                                     TDX Construction Corporation.
                                              Email to:
                                          sbmp@mtahq.org

                                                    or

                                              Mail to:
                                        SBMP Prequalification
                               TDX CONSTRUCTION CORPORATION
                         MTA Small Business Mentoring Program Project Office
                                  345 Madison Avenue, 13th Floor
                                       New York, NY, 10017
                                    Telephone: (212) 878-4755

The name of the Applicant Firm must be clearly marked on the envelope. Receipt of an application
will be acknowledged by email if the Applicant has specified an email address and, if no email
address is specified, by letter. If an Applicant does not receive an acknowledgment, the Applicant
should contact the Construction Manager.

Please fill out and send back ASAP. Get your application in right away while there is still time to
qualify for the initial round of opportunities.


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If you have any questions regarding the application process or the program please contact by:

1.   E-mail: sbmp@mtahq.org
2.   Telephone: Aimee Howell 212-878-4755 or Wayne Cummings at 212-878-4757
3.   Mailing Address:
     SBMP Prequalification
     TDX CONSTRUCTION CORPORATION
     MTA Small Business Mentoring Program Project Office
     345 Madison Avenue, 13th Floor
     New York, NY, 10017


FILLING IN THE APPLICATION TEMPLATE FORM

1.   Write your SSN/EIN on the top of each page of this application.
2.   Hit the Tab Button to advance to the next field. If you need to go back to a field, click on the
     field with your mouse
3.   Use the ‘X’ Key to fill in the checked boxes for the Yes or No responses.
4.   When completely filled-in, mail to the address provided with all the required documents.


ELIGIBILITY FOR AWARD OF SBMP CONSTRUCTION CONTRACTS

MTA anticipates that a firm that is admitted into the SBMP and is in good standing in the program,
will periodically be selected, along with other selected SBMP firms, to bid for small construction
projects that have been designated by MTA for the SBMP and involve the trade(s) for which the firm
has been prequalified. Selection of firms for such competition shall be in MTA’s sole discretion. If
the firm is invited to compete and is the lowest responsive bidder, before the contract is awarded to
the firm, the firm will be required to successfully complete MTA’s standard responsibility review,
which will include completion of MTA’s standard responsibility questionnaire. That review will be
broader and more comprehensive than the review which resulted in the firm being admitted into the
program and prequalified for specific trades. However, admission into the SBMP does not to any
extent guarantee that an SBMP Contractor will be afforded the opportunity to compete for one or
more SBMP contracts or will be awarded any such contract.


REQUALIFICATION

Enrollment in Tier 1 is for a maximum period of 4 years. In order to enroll in the Tier 2 graduate
program, a firm will be required to re-qualify for the program. A firm that expects to graduate from
Tier 1 should apply for the re-qualification one year prior to its expected date of graduation from Tier
1.

If during the time a firm is enrolled in the SBMP, the firm becomes aware of a significant change in
the information contained in the firm’s application, the firm must promptly notify the SBMP
Construction Manager.

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GETTING HELP

Questions regarding the Prequalification Application should be directed to the CM (contact
information above).

SUPPORTING DOCUMENTATION

For much of the application, an Applicant only needs to provide information in the space provided or
on an attached sheet of paper. The following is a list of documentation that should be included with
your application, when applicable. Look at the item number referenced for the details.


Document(s) Required                          Where specified on the application
Legal document executed and, where            Item 3
applicable, filed to create the firm.
Licenses where applicable.                    Item 9A
As available, certified financial             Item 21
statements, or uncertified statements,
for the immediate prior two calendar or
fiscal years.
Federal and New York State income tax         Item 22
returns for the immediate prior two
calendar years.
The most recent three months of bank          Item 24
statements including copies of
cancelled checks which are included
with the statements.
Documentation of bonding capacity, if         Item 25
any.
Documentation of each line of credit the      Item 26
firm has, if any.
Documentation of insurance coverages.         Item 28
Copy of the firm’s written safety             Item 34
program, if any.
Documentation of the firm’s safety            Item 36
certification, license or training, if any.
Copy of the firm’s written quality            Item 37
assurance program, if any.
Documentation of the firm’s experience        Item 39
modification rating and OSHA data.




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        State of New York

1
PERSONAL PRIVACY PROTECTION LAW NOTIFICATION

The information the firm is providing on this application, including information about Key People
pursuant to the authorization to conduct background investigations, is requested pursuant to the
New York State Public Authorities Law for the purposes of MTA determining the Applicant Firm’s
enrollment and continued eligibility for the SBMP and for administering the SBMP and all related
MTA programs and policies. Failure to provide the specified information and authorization
requested may, in the sole discretion of the MTA, prevent your firm’s enrollment or continued
participation in the SBMP. If you are accepted into the SBMP, the information will be kept in a file
maintained by MTA’s Office of Construction Oversight, or other files maintained under the authority
of the MTA. Information which, because of any name, number, symbol, mark or other identifier, can
be used to identify a person (“Personal Information”), shall be received, maintained and used by
MTA and the CM solely for the above stated purposes and will be protected from public disclosure
to the fullest extent permitted by law.




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                                Application for Admission and Prequalification
                             METROPOLITAN TRANSPORTATION AUTHORITY
                                     Small Business Mentoring Program


GENERAL INFORMATION

Legal Name of Applicant Firm:

Does the Applicant Firm do business or within the past five years has the Applicant Firm done business under any
other name?         Yes      No
If yes, list each name and state whether you currently do business in that name:


Applicant Firm’s Federal Employer Identification number* (“FEIN”). If the firm does not have an FEIN, individual
owner’s social security number:


*See page 1 of the instructions for the Personal Privacy Protection Law Notification

Business address:

Street address (not a Post Office Box number):
City/County/State/Zip Code:

Is the business address also a person’s residence?       Yes      No
If yes, name of person:

During the past five years, has the Applicant Firm changed its address?     Yes        No
If yes, list each prior address:

Mailing Address (if different) (a Post Office Box number may be used for mailing purposes):

Street Address:
City/County/State/Zip Code:
Telephone number:           Fax Number
Web Address (if any):
E-mail address:

Primary Application Contact

Title:    Mrs.     Ms.        Mr.     Dr.            Other (specify)
Name:         Business Title:
Primary Phone: Home           Office          Cell             Other
Secondary Phone: Home          Office          Cell             Other
E-Mail Address:



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Secondary Application Contact

Name:         Business Title:
Primary Phone: Home           Office              Cell         Other
Secondary Phone: Home           Office              Cell         Other
E-Mail Address:

Preferred method for written communications from MTA to the firm (complete only 1):
Email to:        Fax to:        US Mail to mailing Address:


SECTION 1: BUSINESS ORGANIZATION, HISTORY AND OTHER INFORMATION


Subsection A:         Applicant Firm’s Legal Structure

1. Month and year Applicant Firm founded:

2. Type of legal entity (For example, sole proprietorship owned and operated by one individual, corporation, limited
   liability company, general partnership, limited partnership, limited liability partnership, joint venture):

3. If available, attach with your application a copy of the certificate of incorporation, partnership agreement, or other
   legal document creating the firm. Is the legal document attached?          Yes      No
   If not attached, explain why:


4. State in which the firm was legally created and organized:

5. If Applicant Firm was not created and organized in New York, is the Applicant Firm authorized to do business in
   New York State?         Yes         No
   If yes, provide the state or local office where the firm filed the required legal documents (Secretary of State or
   County Clerk):           If no, explain:

Subsection B:         Applicant Firm’s Current Lines of Business

6. Briefly describe Applicant Firm’s line(s) of business and whether your firm typically acts as a prime contractor or
   subcontractor:

7. List Applicant Firm’s three largest projects within the past three years and, for each project, state whether
   Applicant Firm was a prime or subcontractor and the dollar value of the project to the Applicant Firm:
        1.
        2.
        3.
8. Trade codes: Based on Attachment A enter below: (i) all building trade codes for trades in which Applicant Firm
   has been actively engaged and for which the Applicant Firm is requesting prequalification; and (ii) for each trade
   code, whether the three year average of work for the code is over or under $ 1million. For each trade code




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selected, Applicant Firm will be required to provide commercial references for work completed within the past three
years (See page 6, Item 20).

             Code(s):               Code(s):           Code(s):             Code(s):              Code(s):

                <$1m         >$1m     <$1m     >$1m      <$1m      >$1m       <$1m      >$1m        <$1m        >$1m

             Code(s):               Code(s):           Code(s):             Code(s):              Code(s):

                <$1m         >$1m     <$1m     >$1m      <$1m      >$1m       <$1m      >$1m        <$1m        >$1m




Subsection C: Licenses, Certifications,Collective Bargaining Relationships and Other Mentor Programs

9.   Does the Applicant Firm have any trade or business related licenses from the State of New York or any locality
     within New York State?       Yes      No If yes:

            A. Attach a copy of each license. Is each license attached?      Yes       No

            B. If no, please explain why:

            C. Is the license issued to a specific individual in the Applicant Firm?        Yes    No
                If yes, specify the individual’s name:

10. Check off each of the following certifications Applicant Firm currently has, if any. If applicable, list agency(ies)
    that issued the certification.

                New York State Minority-owned Business Enterprise or Woman-owned Business Enterprise Certification

                Federal Disadvantaged Business Enterprise Certification
                Economic Development Local Business Enterprise Certification
                Other (List):

11. Does the Applicant Firm participate in any industry-wide or other collective bargaining agreement with any trade
    union?      Yes        No If yes, list collective bargaining agreement(s):

12. Does the Applicant Firm currently participate in any public or private sector mentoring or mentoring type
    program?       Yes     No
    If yes, specify the name and address of the program(s):

Subsection D: Owners, Key Persons and Employees

13. List the name of each person who has an ownership interest in the Applicant Firm and each person’s home
    address, title and role within the firm, and percentage of ownership:

Name:
Home Address:
Title:

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Role:
Percentage ownership:


Name:
Home Address:
Title:
Role:
Percentage ownership:

Name:
Home Address:
Title:
Role:
Percentage ownership:

14. List below the name of each person, other than an owner, who is a key person within the Applicant Firm and, for
    each key person, provide the information specified below. For purposes of this section, a “key person” is any of the
    following who is not listed above as an owner:

           A director, officer, member, or owner.
           Any person in a position to significantly control and direct the firm’s overall operations or financial decisions.
           Any person in a position to significantly control and direct the firm’s performance of any project.
           Signatories to bank accounts.
           Holders of licenses necessary for the Applicant Firm to engage in a building trade.

                     Table of Key People (complete all boxes. Provide a resume for each Key Person listed).
                                          Key Person #1             Key Person #2            Key Person #3
                Title Name
         Home Phone Number
            and Address

        Business Title and Role

     Commencement Date in
        Current title

     Professional Licenses,
     Certifications, Trade
     Qualifications and
     Affiliations

15. Below, enter the number or approximate number of Applicant Firm’s personnel, including key persons identified
    above. If the number varies, list the typical upper and lower limits of the range.

            A. Persons who work full-time for the Applicant Firm and annually receive an IRS W-2 form
            B. Persons who work part-time for the Applicant Firm and annually receive an IRS W-2 form


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            C. Persons who work for the Applicant Firm full or part-time as independent contractors and annually receive
               an IRS 1099 form
            D. Persons who work full- or part-time for the Applicant Firm in a capacity not listed above
            E. Number of construction trade employees included in the above: i) current year           ii) first prior year
                       iii) second prior year

16. Is any owner or key person of the Applicant Firm:
        A. A present or past employee of MTA or any of MTA’s operating agencies?      Yes      No
        B. Related to or reside with any present or past employee of MTA or any of MTA’s operating agencies?
            Yes      No
        C. A present or past employee of the MTA’s Construction Manager for the program, currently TDX
            Construction Corporation?      Yes       No

If the answer to a, b, or c is Yes, provide details (attach a separate sheet if necessary):


SECTION 2: FACILITIES AND PROJECTS


17. Identify all locations currently used by the Applicant Firm including its office, plant, warehouse, and any other
    commercial facility:

                                                        Own,        Name of Landlord           Affiliation with
                                                                                                                        Payment
            Type                 Address               Lease or       or Mortgage             Applicant Firm or
                                                                                                                         Terms
                                                        Rent?            Holder                 Key Person




18. Current government contracts: Is the Applicant Firm currently involved as a prime or subcontractor in:

                 A. a contract with the MTA or MTA operating agency or any other governmental agency, department or
                    authority?        Yes       No
                 B. a bidding or negotiating process for a contract with the MTA, MTA operating agency, or any other
                    governmental agency, department or authority?           Yes    No

    If yes, to A or B, identify agency, department, or authority and, for each, identify the contract:


19. State the number of contracts completed during Applicant Firm’s current year-to-date and contracts completed
    and total revenues for each of the past three fiscal or calendar years.
        Calendar           Fiscal

If fiscal, provide last fiscal year end (MM/YYYY):




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               Year                  Number of Contracts Completed                 Total Revenue
Current to date                                                           Not applicable




20. For each construction trade in which Applicant Firm is actively engaged and for which Applicant Firm is
    requesting prequalification (item 8 on this form) provide the following information for construction prime
    contracts and subcontracts completed within the current year and the past three years. Applicant Firm must provide
    a minimum of four commercial references for each trade code selected. Duplicate and complete the chart for each
    trade code.


                                Project #1            Project #2            Project #3              Project 4
     Trade Codes***



Agency/Owner/Developer

  General Contractor on
Project (If Applicant Firm
   insert “Applicant”)

    Project Name and
         Address


    Project Contract #

   Work Performed on
       Project*

Applicant Firm’s Contract
       $ Amount

 Start and Completion
Date of Applicant Firm’s
        Contract

 Name of Representative
          from
Agency/Owner/Developer
 Familiar with Applicant
  Firm’s Performance**


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   Title and Phone # of
      Representative


Was Applicant a Prime or
   a Subcontractor?



              *  Specifically provide the work performed and in what capacity, e.g., general contractor, subcontractor,
                 construction manager, etc.
              ** Representative cannot be affiliated or related to any key person of the Applicant Firm.
              ***Enter applicable trade codes from the answer to item 8.


SECTION 3: FINANCIAL AND RELATED INFORMATION

21. Provide a copy of all of Applicant Firm’s financial statements, as available, for the immediate prior two calendar or
    fiscal years. Provide certified financial statements if they exist. If such statements are not available, provide
    uncertified statements.

    Financial Statements provided:              Yes         No

    If not provided, explain why:

22. Provide copies of all the Applicant Firm’s Federal and New York State income tax returns for the immediate prior
    two calendar or fiscal years.


    Federal and New York State income tax returns provided:                  Yes        No

    If not provided, explain why:

23. Enter information for each business bank account held by the Applicant Firm.

                                                                   Bank Name and                  Names of ALL
   Name on Account                   Type of Account
                                                                      Address                      Signatories*




* Note: A Signatory by definition is a Key Person.

24. Provide copies of the Applicant Firm’s three most recent bank statements, including copies of cancelled checks.

Bank statements including copies of cancelled checks enclosed.                 Yes        No

If not enclosed, explain why:

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25. Does the Applicant Firm have bonding capacity? (Please note that bonding capacity is not a requirement for
    prequalification or the award of a contract in the program)  Yes       No

    If yes, provide copies of documentation showing your bonding capacity and provide the following information for
    each surety company that has currently agreed to furnish the Applicant Firm with performance and payment bonds.



                                                 Names and Addresses
                               Agent/Broker       of Other Persons or            Single Job             Aggregate
Surety Name and
                             Name and Phone #        Entities Whose           Bonding Capacity       Bonding Capacity
    Address
                               (not toll-free)   Indemnity the Surety               ($)                    ($)
                                                  Company Relies on




26. Does the Applicant Firm have one or more lines of credit?          Yes        No
    If yes,

    A. Provide a current letter from each financial institution that is providing you with a line of credit that states the
       amount of the line of credit and its current status.

    B. Complete the information below.

                                      Names and Addresses of Others           Single Job Line of
Financial Institution’s Name                                                                              Aggregate Line of
                                      Whose Guarantee the Financial          Credit Limit Capacity
        and Address                                                                                        Credit Limit ($)
                                          Institution Relies On                       ($)




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27. Has the Applicant Firm ever defaulted on a loan from a financial institution?           Yes        No

    If yes, provide details:

28. Attach a copy of documentation that lists Applicant Firm’s current insurance coverages, including names of
    insurance companies, types of coverage and limits. Attached:          Yes       No

    If no, explain why:


SECTION 4: CONTRACT PERFORMANCE AND CLAIMS

29. Has the Applicant Firm ever failed to complete a contract?         Yes         No
    If yes, provide details for each such failure (attach a separate sheet if necessary):


30. Has the Applicant Firm ever defaulted on a contract that was bonded?            Yes           No
    If yes, provide details for each such failure (attach a separate sheet if necessary):



SECTION 5: SAFETY, OPERATIONS AND INSURANCE

31. During the past five years, has any personal or bodily injury or workers compensation claim been made against the
    Applicant Firm?        Yes        No

    If yes, for each claim provide the following details. If a claim was not covered by insurance, enter “None” for the
    insurance company.

Type of                Insurance    Date Claim                           Claim
                                                       Claimant                      Disposition            Summary Details
 Claim                 Company        Filed                             Amount




32. During the past five years, has the Applicant Firm been charged with any violation by the Occupational Safety and
    Health Administration (“OSHA”), including charges that were dismissed?           Yes      No

    If Yes, in the section below, list the number of OSHA violations and the number that were issued as “Serious,”
    “Willful,” “Repeat,” or “Failure to Abate Penalty.” Go to www.osha.gov for further information.




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                       Number of                                               Failure to
                                     Serious      Willful       Repeat                         Disposition
                       Violations                                               Abate
Year 1
Year 2
Year 3
Year 4
Year 5


33. Other than under OSHA, during the past five years, has the Applicant Firm been charged with any violation of any
    Federal, State, or local law or regulation governing the conduct of the Applicant Firm’s business including but not
    limited to a licensing statute, building code, wage and hour law, prevailing wage law, and the Immigration
    Reform and Control Act of 1986, as amended?                 Yes            No

    If Yes, provide details below:


                             Summary of Violation Charged                            Disposition
   Year 1

   Year 2

   Year 3

   Year 4

   Year 5


34. Does the Applicant Firm have a written safety program?         Yes         No    If Yes, attach a copy.

35. Provide the name and title of the highest-ranking employee of the Applicant Firm responsible for safety:


36. Does the Applicant Firm or any employee have a current relevant safety certification, license, or training?
       Yes     No

  If Yes:
  A. Provide a copy of documentation of such certification, license or training.
  B. List below each type of certification, license or training of Applicant firm’s employees and specify the number of
      employees who have such certification, license, or training.

         Type of Certification License, Number of Employees or Training




37. Does the Applicant Firm have a written quality assurance program?        Yes       No
     If Yes, attach a copy.

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38. Provide the following information and documents for the current year and previous calendar year:


                                                            Current year              Prior calendar year
                EMR (Experience Modification Rating):
                Number of OSHA Recordable Cases:
                Total Days Away from Work:
                Number of Fatalities:


  39. Provide a copy of the information page from Applicant Firm’s worker’s compensation policy showing the
      Applicant Firm’s EMR, and OSHA 300 log or, if this information is not available, provide this information in a
      letter to Applicant Firm from its workers compensation insurance company.




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                                                                                         of this application
         State of New York


SECTION 6: INTEGRITY

               THE FOLLOWING QUESTIONS MUST BE ANSWERED “YES” OR
               “NO”: (In the event of a “YES”, Applicant Firm must provide all relevant
               information on a separate sheet annexed hereto, and the MTA reserves the
               right to inquire further with respect hereto.)

              40. To the best of your knowledge after diligent inquiry, in connection with
                   the business or any other firm which is related to Applicant by any
                   degree of common ownership, control, or otherwise, do any of the
                   following statements apply to: (i) Applicant, Applicant’s parent, an
                   Applicant subsidiary or affiliate (if any); (ii) any join venture (including
                   its individual members) and any other form of partnership (including its
                   individual members) which includes Applicant or Applicant’s parent, an
                   Applicant’s subsidiary, or affiliate, (iii) an Applicant’s Key Person (see
                   definition in 14 above), managerial employee, and any person or entity
                   with a 10% or more interest in Applicant; (iv) any legal entity
                   controlled, or 10% or more of which is owned, by Applicant, or by any
                   Key Person, managerial employee of Applicant, or by any person or
                   entity with a 10% or more interest in Applicant.
               a) Within the past 10 years, has been convicted of a felony and/or any other             NO          YES
               crime related to truthfulness in connection with business conduct.
               b) Has pending before any state or federal grand jury or court an indictment             NO          YES
               or information alleging the commission of a crime which has not been
               favorably terminated.
               c) Is the subject of a pending investigation by any grand jury, commission,              NO          YES
               committee or other entity or agency or authority of any local, state, or the
               federal government in connection with the commission or alleged
               commission of a crime?
               d) Is currently disqualified from selling or submitting bids/proposals to or             NO          YES
               receiving awards from or entering into any contract with any federal, state
               or local government agency, any public authority or any other public entity.




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                                                                                       of this application
         State of New York




               e) Within the past five years, has refused to testify or to answer any                 NO          YES
               question concerning a bid or contract with any federal, state, or local
               government agency, any public authority or any other public entity when
               called before a grand jury or other committee, agency or forum which is
               empowered to compel the attendance of witnesses and examine them under
               oath, upon being advised that neither the person’s statement nor any
               information or evidence derived from such statement will be used against
               that person in any subsequent criminal proceeding.
               f) Is currently disqualified from selling or submitting a bid to, or receiving
               an award from, or entering into any contract with any public entity or public
               authority within the State of New York because, within the past five (5)
               years, such entity or person refused to testify or to answer any relevant
               question concerning a transaction or contract with the State of New York,              NO          YES
               any political subdivision of the state of New York, or a public authority or a
               public department, agency or official of the State of New York or of a
               political subdivision of the State of New York, when called before a grand
               jury or other state or local department, commission or agency which is
               empowered to compel the attendance of witnesses and examine them under
               oath, upon being advised that neither that person’s statement nor any
               information or evidence derived from such statement will be used against
               that person in any subsequent criminal proceeding.
               g) In the past ten years, entered into a consent decree involving a criminal           NO          YES
               charge, deferred prosecution agreement, or non-prosecution agreement.
               h) Has within a ten year period preceding completion of this Application,              NO          YES
               been convicted of or had a civil judgment rendered against them for: (i)
               commission of fraud or a criminal offence in connection with obtaining,
               attempting to obtain, or performing a public (federal, state or local)
               transaction or contract under a public transaction; (ii) collusion with
               another person or entity in connection with the submission of bids; (iii)
               violation of federal or State antitrust statues of False Claims Acts; (iv) or
               commission of embezzlement, theft, forgery, bribery, falsification or
               destruction of records, making false statement or receiving stolen property.




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                                                                                       of this application
         State of New York




                             CERTIFICATION ON BEHALF OF APPLICANT

            This certification must be completed and signed by a person who is an owner and a
            director, officer, or member of the Applicant firm and is sufficiently knowledgeable
            about the Applicant firm to confirm the accuracy and completeness of the
            information provided by the Applicant as its responses to the items in this form. The
            person’s signature must be notarized by a notary who is not a Key Person in the firm
            (see item 14 for who is a Key Person), nor a relative of the person signing a
            certification.

            A MATERIAL FALSE STATEMENT OR OMISSION MADE IN
            CONNECTION WITH THIS APPLICATION IS SUFFICIENT
            CAUSE FOR REJECTION OF THE APPLICATION.      IN
            ADDITION, SUCH FALSE SUBMISSION MAY SUBJECT THE
            PERSON    AND/OR  ENTITY   MAKING   THE   FALSE
            STATEMENT OR OMISSION TO CRIMINAL CHARGES,
I [Insert Full Name] being duly sworn, under penalties of perjury, hereby state as follows:

I am [Insert Title] of [Insert Applicant's Name] the Applicant Firm that is applying for
Admission to and Prequalification for the Metropolitan Transportation Authority’s Small
Business Mentoring Program

I have read and understand the questions and information submission requirements
contained on the application.

I certify that I am sufficiently knowledgeable about the Applicant firm to confirm the accuracy and
completeness of the information provided by Applicant as its responses to the items in this form and
that, to the best of my knowledge, the information given in response to each item on this
form, is full, complete and truthful.

I acknowledge that the Metropolitan Transportation Authority may, by means it deems
appropriate, determine the accuracy and truth of the statements made and information
provided in the application.

I recognize that all the information submitted in the application, is for the express purpose
of inducing the Metropolitan Transportation Authority to qualify the Applicant firm for
admission to and prequalification for the Metropolitan Transportation Authority Small
Business Mentoring Program.

I agree and warrant that truthfully answering the questions and submission requirements is
an event entirely within my control.



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                                                                                  of this application
         State of New York


I authorize the Metropolitan Transportation Authority to do the following and confirm that I
am duly authorized by the Applicant Firm to make this authorization:

           To contact any entity or person named in the application for purposes of verifying
            the information supplied by the Applicant firm.
           To conduct any background investigation it deems appropriate.

While the Applicant firm’s application is pending and, if the Applicant firm is accepted into
the Metropolitan Transportation Authority Small Business Mentoring Program, during the
firm’s enrollment in the Small Business Mentoring Program, I will notify the Metropolitan
Transportation Authority of any significant change to any of the information submitted,
promptly and, in any case, within 30 days of the event.


Sign here: _____________________________________

State of
County of

On______________________, 201             , before me personally came and appeared
_______________________________________by me known to the person to signed this
document and who swore to me that the statements set forth in this certification are accurate
and complete.


Notary Public’s signature _______________________________

Notary Public’s name: ___________________________________

Notary Public’s stamp:




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                             of this application
         State of New York




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         State of New York




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         State of New York




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         State of New York




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